Legal and Compliance Officer - Pretoria, South Africa - RJPersonnel

RJPersonnel

Verified Company

Pretoria, South Africa

1 week ago

Posted by:

Thabo Mthembu

beBee Recruiter

3years

FAIS and Section 43 FICA Compliance Officer responsible for governance of risk and compliance.
Fulfil compliance function required in terms of FAIS, FICA and other applicable legislation and business requirements.
Expert knowledge of FAIS and FICA and all the regulations.
Good understanding of POPIA, ASISA and relevant CIS Hegde Fund FSCA Board Notices.
Establish a culture of compliance and maintain a compliance risk framework together with the external compliance officer.
Ensure that TCF outcomes are achieved.
Working with external compliance to implement and maintain policies.
Oversee mandate compliance and mandate monitoring.
Analysis and implementation of regulatory changes.
Assist in the implementation of new legislative requirements.
Provide training or prepare material on regulatory changes.
Sign off on FICA, client risk rating and due diligence documents.
Maintaining the RMCP and ensuring that the procedures are followed.
Reviewing and drafting SLA's and agreements to be entered into between clients, services providers and stakeholders.
Review of legal documents with service providers.
Liaising with the regulators as and when required.
Implementing CPD and internal training plans.

Qualifications and Experience:

Legal degree.
FSCA recognised qualification.
Registered Category I, II and IIA Compliance Officer with the FSCA would be advantageous.
Minimum 3 years' experience in compliance or risk management within the financial services industry.